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Registered advisor
K•••• J••• M•••••
Feed of 09/15/2026
Also filed as Karoline M•••••
At current firm
12 y
since Oct 2, 2013
In the industry
25 y
since Apr 4, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 2, 2013 · Concord, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 16, 2010 to Oct 11, 2013 · El Cerrito, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 16, 2010 · Oakland, Ca
- W••• I••••••••• I••• unclassifiedAug 4, 2008 to May 2, 2009 · El Cerrito, Ca
- W•••• F•••• A••••••• wirehouseFeb 2, 2007 to Sep 25, 2007 · San Leandro, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Oct 11, 2013, registered Oct 2, 2013 (-9 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 16, 2010, registered Nov 16, 2010 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W••• I••••••••• I•••left Sep 25, 2007, registered Aug 4, 2008 (314 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address